SEC Form 4 · accession 0001209191-15-021758
Invesco Ltd. · IVZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin M Carome
Officer — SMD and General Counsel
Period of report
Feb 28, 2015
Accepted (ET)
Mar 3, 2015 · 6:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000914208
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | Feb 28, 2015 | A | 28,718 | $0.00 | A | 448,459 | D | |
| Common Shares | Feb 28, 2015 | M | 12,710 | $0.00 | A | 461,169 | D | |
| Common Shares | Feb 28, 2015 | A | 3,005 | $0.00 | A | 464,174 | D | |
| Common Shares | Feb 28, 2015 | A | 3,499 | $0.00 | A | 467,673 | D | |
| Common Shares | Feb 28, 2015 | A | 2,842 | $0.00 | A | 470,515 | D | |
| Common Shares | Feb 28, 2015 | F | 25,790 | $40.27 | D | 444,725 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2015 | M | 12,710 | D | — | — | Common Shares | 12,710 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one Common Share of Invesco Ltd.
- F2The Restricted Stock Units vest in four equal annual installments and expire upon the employee's termination of employment.